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Received 4 October 2005; received in revised form 4 October 2005; accepted 11 October 2005
Abstract
Sustainable development presents us all with the challenge of living in ways which are compatible with the long-term constraints imposed
by the finite carrying capacity of the closed system which is Planet Earth. The chemical engineering approach to the management of complex
systems involving material and energy flows will be essential in meeting the challenge. System-based tools for environmental management
already embody chemical engineering principles, albeit applied to broader systems than those which chemical engineering conventionally covers.
Clean technology is an approach to process selection, design and operation which combines conventional chemical engineering with some of
these system-based environmental management tools; it represents an interesting new direction in the application of chemical engineering to
develop more sustainable processes. Less conventional applications of chemical engineering lie in public sector decisions, using the approach
known as post-normal science. These applications require chemical engineers to take on a significantly different role, using their professional
expertise to work with people from other disciplines and with the lay public. The contribution of chemical engineering to the formation of UK
energy policy provides an example of the importance of this role. Recognising the role of engineers as agents of social change implies the
need for a different set of skills, which just might make the profession more attractive to potential new recruits.
䉷 2005 Published by Elsevier Ltd.
2.1.1. Material flow accounting (MFA) approach see Clift, 2001 or Azapagic, 2004; for a full ac-
MFA is defined as the “quantitative accounting of material count see Baumann and Tillman, 2004). The LCIA approach
inputs and outputs of process in a chain perspective” (Bringezu of expressing impacts in terms of contributions to a set of en-
and Moriguchi, 2002). MFA is a form of material balance anal- vironmental categories forms the basis of the “Environmen-
ysis, typically applied to one material or group of materials tal Burden” approach, originally developed by ICI for setting
(such as iron/steel or paper) passing through a geographical targets and reporting on company environmental performance
area or an industrial sector. MFA is applied to obtain estimates (Wright et al., 1997) and subsequently incorporated into the
for resource consumption, or of waste arisings so that recy- sustainability metrics promoted by the Institution of Chemical
cling rates can be estimated and activities to improve waste Engineers (IChemE, 2004).
recovery and recycling can be planned (e.g., Melo, 1999; van Some LCA practitioners advocate a further step, known as
Schaik and Reuter, 2004; Verhoef et al., 2004; Dahlström et valuation, in which the disparate environmental impacts are ag-
al., 2004). Where the material in question is incorporated in gregated into a singly metric, usually expressed in economic
products with significant service lives, it is necessary to allow terms, for example as a total damage cost (see Baumann and
for the distribution of residence times in the economy using Tillman, 2004). For reason outlined later in this paper, valu-
what amounts to an application of residence time theory (e.g., ation is not generally recommended: aggregation across envi-
Melo, 1999; van Schaik and Reuter, 2004). By tracking the val- ronmental impacts obscures information.
ues of materials as well as their flow rates—a form of value
chain analysis—this kind of accounting can show where value
as well as material is lost (Dahlström et al., 2004). Extended 2.1.3. Industrial ecology
forms of material flow accounting can show, for example, the Fig. 1 emphasised that materials and energy are only lost
results of incomplete material separation in waste streams and from the economy when they are dispersed, so that one gen-
the implications of the fact that many metals are obtained from eral approach to improving the resource efficiency of human
mixed ores and therefore do not enter the economy as separate activities is to use materials and energy as many times as
streams (Verhoef et al., 2004). possible. This approach is increasingly known as “Industrial
Ecology” (see e.g., Graedel and Allenby, 1995; Ayres and Ayres,
1996), based on a loose—and arguably misleading—analogy
2.1.2. Life cycle assessment (LCA) with living ecosystems. One form of industrial ecology is “in-
LCA is defined as studying “the environmental aspects and dustrial symbiosis”: a form of collaboration between neigh-
potential impacts of a product or process or service through- bouring plants so that wastes and emissions from one are used
out its life, from raw material acquisition through produc- as inputs to others. The classic case of industrial symbiosis is
tion, use and disposal” (ISO, 1997). Whereas MFA applies the Kalundborg eco-park in Denmark. At a purely technological
mass balance approaches to a sector or area, LCA starts by level, Kalundborg shows only the kind of process integration
compiling mass balances over the complete supply chain which a chemical engineer would naturally expect. The interest
providing a service or product extending from the “cradle” is therefore more in the way the relationships between differ-
of primary resources—metal ores or fossil fuel deposits for ent organisations have developed to enable mutually beneficial
example—through to the “grave” of recycling or safe disposal; interdependence (Ehrenfeld and Gertler, 1997). Thus, under-
the term “life cycle” is used in this context to describe the standing and promoting the development of industrial ecologies
supply chain, but it includes the service life of a product or must be a collaborative endeavour between chemical engineer-
process. In the sequence of steps conventionally followed in ing, social science and business management.
carrying out an LCA (see Baumann and Tillman, 2004), com- Another form of industrial ecology entails systematic use
piling the material and energy balance is termed the Inventory and re-use of materials and components in a series of different
phase. Apart from the extended system boundary, inventory applications. This is shown in general form in Fig. 2. Products
analysis differs from conventional material and energy balance may be re-used in the same application, as exemplified by re-
analysis by the need to include trace flows of species whose fillable containers. The material might be reprocessed for re-
environmental significance is large, for example because they cycling into the same application, or it might be down-cycled
have high human or eco-toxicity. into an application with lower performance characteristics so
Inventory analysis typically produces a body of detailed that it can pass through a succession or “cascade” of different
numerical information which rarely reveals the most impor- uses. Such systems are more complex than the single supply
tant environmental impacts. The next phase in carrying out chains which are the province of LCA and typically require
an LCA is life cycle impact assessment (LCIA) which aims decisions on the relative environmental and economic compar-
to estimate the magnitude and significance of the potential isons between different routings. However, they are no more
impacts arising from the whole life cycle. The general ap- complex than process systems with multiple recycle loops. The
proach is to define a manageable set of environmental impact kind of industrial ecology in Fig. 2 can be modelled for decision
categories—greenhouse warming, photochemical oxidant for- support by combining LCA with approaches used in process
mation and resource depletion for example—and to estimate systems engineering, representing a further new application of
the contribution of each of the flows into and out of the system relatively routine chemical engineering (e.g., Allen, 2004; Mel-
to each of the impact categories (for summaries of the LCIA lor et al., 2002). It is possible to incorporate logistics—both
ARTICLE IN PRESS
4 R. Clift / Chemical Engineering Science ( ) –
RESOURCE
EXTRACT
PROCESS
RECYCLE
MANUFACTURE 1
CASCADE
RECYCLE
RE-PROCESS USE 1 RE-PROCESS MANUFACTURE 2
RE-USE RE-PROCESS
WASTE USE 2
USE 3
etc. RE-USE
WASTE
USE 3
etc.
Fig. 3. Clean-up and clean technology (from Clift and Longley, 1995).
The system-based approach to environmental management the improved environmental performance is real and does not
has also led to a change in emphasis in process engineering over merely represent shifting environmental impacts to some other
the last two decades, away from “clean-up” or “end-of-pipe” point in the material and energy supply chains, it is essential
approaches to pollution abatement towards “clean technology” to evaluate the environmental impacts on a life cycle basis.
or “pollution prevention” (Clift and Longley, 1995; Allen and Approaches to combining process analysis and design with
Rosselot, 1997; Clift, 2001; Allen and Shonnard, 2002). Fig. 3 LCA as tools to guide process selection, design and operation
illustrates the idea. Any general technology can be translated have been developed as part of the contribution of chemical
into specific designs by trading off cost against environmental engineering to sustainable development (e.g., Azapagic and
impact. Adding pollution abatement to a process, i.e., the clean- Clift, 1999; Clift and Azapagic, 1999). If environmental perfor-
up approach, can reduce its environmental impact but necessar- mance is measured in terms of contribution to general impact
ily at increased cost. The clean technology approach is to look categories rather than being aggregated into a single metric,
for a “win–win” solution whose performance is improved in then there are a number of “environmental impact” axes cor-
both economic and environmental terms. In order to ensure that responding to the different categories. Thus, Fig. 3 is really a
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R. Clift / Chemical Engineering Science ( ) – 5
2 In the economics literature, these are termed “Pareto surfaces” and a With prior articulation of Without prior articulation of
design which lies on the decision frontier is said to be “Pareto optimal”. In preferences preferences
the business management literature, the overall decision frontier is sometimes
termed the “data envelope”. Fig. 5. A taxonomy of decisions (after Cohon, 1978).
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6 R. Clift / Chemical Engineering Science ( ) –
Decision stakes
The normative role for engineers comes in for decisions in
the other class, on the right in Fig. 5, where developing the
objectives or criteria forms part of the decision process. Sub-
stantive decisions in the public domain typically fall within
this class. Examples include setting environmental standards Professional
consultancy
(RCEP, 1998), use of land, and more mundane but neverthe-
less essential and potentially contentious decisions such as road
planning and waste management strategy. Given that the crite-
ria have not been determined a priori, it is clearly pointless to
try to aggregate impacts to a single metric. In fact, attempts to Applied
apply cost/benefit analysis, which is an extreme form of aggre- science
gation, to decisions in this category can be seen to lead to po-
litical disturbances, for example over road construction in the Low System uncertainty High
UK. Balancing the techno-economic, environmental and social
Fig. 6. Post-normal science (after Ravetz, 1993).
dimensions of sustainable development makes this kind of de-
cision increasingly important. Therefore, engineers in general
and chemical engineers in particular must expect to be involved
in this kind of decision process. peer community’, consisting not merely of persons with some
form. . . of institutional accreditation, but rather of all those with
a desire to participate in the resolution of the issue” (Funtowicz
3.2. Risk, uncertainty and acceptance in decisions et al., 1999).
The idea of a peer community is familiar enough. The notion
Although “decisions without agreed criteria” are unavoid- of an extended peer community, recognising that the knowledge
able in engineering for sustainable development, they represent needed to reach an accepted decision does not reside solely
something unfamiliar to most engineers. Decisions in this cate- with technical experts, is less familiar (and may be seen as
gory typically affect a broad range of people and organisations, anathema by some in the engineering profession!). However,
so these stakeholders should be involved in the decision pro- if sustainability leads inevitably to decisions without agreed
cess. Different stakeholders will typically have different views criteria, then it is also inevitable that some form of extended
about the criteria defining a desirable outcome. Decisions must peer community will be needed if decisions are to be accepted in
often be made in the face of missing information and uncer- the face of uncertainty and risk.3 The problem for the engineer
tainty about the confidence which can be placed on the avail- is then to recognise that the role of the technical expert in this
able information; it can be argued that engineering design has kind of decision is different; it is to “act as Honest Broker, to
always required decisions to be made based on incomplete in- ensure that the scientific and technical information is presented
formation, but the involvement of stakeholders with different clearly and without bias” (Mitchell et al., 2004).
objectives makes this kind of decision different. Furthermore, But then the decision process needs to be structured care-
the systems about which decisions must be made may be so fully. Fig. 7 shows a model for deliberative decision processes,
complex that their behaviour is not predictable, while the con- originally proposed as a way of setting environmental standards
sequences of the decision may be highly significant. but much broader in its potential applications (RCEP, 1998).
This kind of decision problem has become known as the do- The key feature is that specialist assessment with interaction
main of “post-normal science”. The concept is shown schemat- between specialist disciplines lies at the core of the process, but
ically in Fig. 6. Decisions with low uncertainty and decision people’s values must inform recognition and definition of the
stakes are the conventional province of the engineer. When the problem and the objectives and decision criteria, and also the
stakes or uncertainty are higher, specialist skill and judgement synthesis of different technical assessments to arrive at an ac-
are needed—i.e., professional consultancy may be required. cepted decision. Funtowicz et al. (1999) described this model
When the risks arising from high stakes and/or uncertainty are as “as a sort of manual for post-normal science”.
high, we are in the realm of post-normal science. Here “the
contribution of all the stakeholders. . . is not merely a matter of
broader democratic participation. . . . Quality depends on open 3 For a discussion of the role of the “lay expert” in this kind of decision,
dialogue between all those affected. This we call an ‘extended see Irwin (2003).
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R. Clift / Chemical Engineering Science ( ) – 7
recognise problem
technological
options economic
appraisal SYNTHESIS
define and frame
scientific
assesment
implementation
analysis
risk
formulate objectives assesment
review
DECISION
3.3. An example: energy policy and climate change Therefore, the ecological constraint (in the sense intro-
duced at the beginning of this paper) was framed in terms
The role of engineering expertise in a problem falling into of preventing runaway rise in carbon dioxide concentra-
the realm of post-normal science can be illustrated by an influ- tion. Although there is no threshold at which the stability
ential study by the UK Royal Commission on Environmental of the global climate becomes “unsafe”, the RCEP recom-
Pollution (RCEP, 2000) on global climate change and energy mended the target of stabilising CO2 concentration at about
policy. The RCEP is a body of independent experts which has 550 ppmv, about double the pre-industrial level. Even at this
maintained a tradition of freedom from political intervention; level, major climate impacts and rise in sea level must be
its deliberations, therefore, correspond to the multidisciplinary expected. However, the implications of the constraint for
analysis at the centre of Fig. 7. However, the issues which the limiting emissions are not very sensitive to its level: stabil-
Commission addresses are framed by public concerns, and the isation at any level below 750 ppmv requires global emis-
ways in which its conclusions are applied are determined by po- sions to be reduced below projections on a “business as
litical processes. In this sense, the RCEP’s work approximates usual” basis. The 550 ppmv cap requires total global emis-
to the model of Fig. 7. sions to be stabilised roughly at current values.
The key aspect of the Royal Commission’s analysis con- 2. Working back from the tolerable emissions, RCEP argued
cerned targets for carbon dioxide emissions from the UK in the that an effective, enduring and equitable climate protocol
year 2050. The report starts with an analysis of the evidence will eventually require emission quotas to be allocated to
that emissions of climate-forcing “greenhouse gases” from hu- nations on a simple and equal per capita basis. This is
man activities are causing changes in the global climate and known as the “contract and converge” principle: it requires
regional weather patterns. In effect, it endorses the conclusions the developed economies to reduce their emissions to con-
of the UN Intergovernmental Panel on Climate Change (IPCC). verge on the global constraint. Dividing the tolerable emis-
To quote the RCEP report, the world is now faced with a rad- sions by projected global population in 2050 gave the per
ical challenge of a totally new kind which requires an urgent capita target. Multiplying by the UK population gave the
response. . . By the time the effects of human activities on the target for the UK: about 40% of emissions in 1997.
global climate are clear and unambiguous it would be too late 3. The normative engineering input came in the third step of
to take preventive measures. This statement may not be news the analysis, by developing representative scenarios to show
to the scientific community, but was necessary at the time of how the target of 60% reduction in UK CO2 emissions by
publication (2000) to underpin the Commission’s recommenda- 2050 might be achieved. This was an application of fore-
tions; although the UK government now stresses its belief that sighting, as distinct from forecasting. Forecasting is the pro-
climate change represents a real and serious threat, this com- cess of predicting how a system—in this case, the energy
mitment has emerged since publication of the RCEP report. supply system in the UK—is likely to develop. Foresighting
The statement also identifies this as a problem in post-normal uses a different approach: projecting possible future scenar-
science: high uncertainty but very high stakes. ios, usually over a time-scale—50 years in the case of the
The analysis which followed had three principal steps in RCEP energy study—longer than that which can be cov-
which the key disciplines were respectively climate science, ered by forecasting. Foresighting can lead on to backcast-
moral philosophy and engineering: ing, the process of investigating what must be done now to
invalidate simplistic “business-as-usual” forecasts and im-
1. The risk of serious global climate change increases with prove the chances of reaching a desirable future scenario
increasing carbon dioxide concentration in the atmosphere. (Robinson, 2003). The use of scenarios in energy planning
ARTICLE IN PRESS
8 R. Clift / Chemical Engineering Science ( ) –
and policy is well established (e.g., Darton, 2004). In the haviour of complex systems which makes the chemical engi-
case of the RCEP’s analysis, the scenarios enabled the cost neering approach all the more essential. The development and
of changing course to achieve the 60% reduction to be es- use of system-based tools for managing the environmental per-
timated. The answer was “about 2% of annual GDP”, at a formance of human activities already represents a new but rel-
time when GDP growth was still projected as 4% per an- atively straightforward extension of chemical engineering. The
num; i.e., the costs are substantial but not impossible (and approaches known as clean technology and industrial ecology
arguably much lower than the economic and social costs of already require a fusion of chemical engineering with other dis-
runaway climate change). ciplines including natural science, toxicology, economics and
business management.
The strength of the RCEP argument derived from this multi- The field for possible applications of chemical engineering
disciplinary analysis, in which the engineering input was nec- becomes even broader when it is recognised that sustainable de-
essary but not sufficient. Arguably the engineering component velopment requires increasing emphasis on decisions in which
will be even more essential in bringing about the changes in the objectives of the decision and the criteria by which suc-
the energy system needed to meet the 60% target, but this is cess is to be judged must be formulated as part of the decision
within the more familiar role of the engineer. Based on this process. Typically, the uncertainties and the risks of the deci-
analysis, it was possible for the RCEP to say In this report we sion are high. This kind of problem is known as post-normal
illustrate ways in which the UK could cut its carbon dioxide science. The field is generally less familiar to chemical engi-
emissions by 60% by 2050. Achieving this will require vision, neers, and requires working with more alien groups including
leadership and action which begin now. About 2 21 years after social scientists, philosophers and the non-expert “lay” public.
publication of the RCEP report, the recommendation was ac- However, this kind of analysis and decision structuring will be
cepted in a White Paper setting out UK energy policy. This of increasing importance; it is illustrated by the essential in-
was one of the first political admissions that the targets agreed put from engineering, alongside climate science and moral phi-
under the Kyoto protocol are nowhere near enough to prevent losophy, into the analysis which successfully changed the UK
gross climate change. The target has since been adopted by government’s policy towards energy and climate change.
some governments in addition to the UK. Post-normal science introduces or reinforces the role of the
technical specialist as an agent of social as well as technologi-
3.4. A caution against optimism cal change. Such a normative role will be unfamiliar, and prob-
ably uncomfortable, to many practising engineers. However it
Of course, declaration of policy by the government of one can also be seen as a way of enriching professional practice.
industrialised country gives very limited reassurance. Achiev- If presented right, it could make engineering in general and
ing the goal of stabilising atmospheric CO2 concentration will chemical engineering in particular more attractive to potential
require a lot more, including adoption of low-carbon energy new recruits, and thereby help to overcome the problem of de-
economies in the developing countries, so there remains much clining recruitment to the profession which is apparent in many
to be done by engineers acting in their more conventional roles. parts of the world.
Also, a further difficult problem is starting to emerge. The ques-
tion was raised earlier: should the sustainability of a country be References
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